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MR

Miguel A. Romero Duran

WEBULL FINANCIAL LLC
St. Petersburg, FL 33716
Some features on this profile are disabled
CRD#: 7099791
MR

Professional summary

Miguel Antonio Romero Duran, who also goes by Miguel Romero, Miguel A Romero Duran, Miguel Antonio Romero Duran, is a registered financial professional currently at WEBULL FINANCIAL LLC located in St. Petersburg, Florida.

Miguel is registered as a RR (Registered Representative) and started their career in finance in 2019. Miguel has worked at 4 firms and has passed the Series 63, Series 3, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Miguel Romero | Miguel A Romero Duran | Miguel Antonio Romero Duran

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Miguel Antonio Romero Duran's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 20, 2023 - Present

WEBULL FINANCIAL LLC

Office #1: 200 Carillon Pkwy Floor 4, St. Petersburg, FL 33716
BD
CRD#: 289063
St. Petersburg, FL
Past

September 29, 2021 - November 3, 2023

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Lake Mary, FL
Past

December 15, 2020 - August 26, 2021

MUTUAL OF AMERICA SECURITIES LLC

BD
CRD#: 27878
NEW YORK, NY
Past

November 6, 2019 - September 14, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(12/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 1/26/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/6/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/20/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WF
WEBULL FINANCIAL LLC
WEBULL FINANCIAL LLC

CRD#: 289063 / SEC#: , 8-69978

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
44 Wall Street 2nd Floor, New York, NY 10005
Mailing Address
44 Wall Street 2nd Floor, New York, NY 10005
Phone number
(917) 725-2448
Established
Delaware since 05/24/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEBULL HOLDINGS (US) INC.OWNER/ MANAGING MEMBER
DENIER, ANTHONY MICHAELCHIEF EXECUTIVE OFFICER3260208
ENGELSOHN, MOSHE BINYAMINFINOP / CHIEF FINANCIAL OFFICER2504044
KEATING, JOHNCHIEF COMPLIANCE OFFICER7087074
LU, SHENCHIEF OPERATING OFFICER4640530

Disclosures

Regulatory Event5
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WEBULL FINANCIAL LLC

CRD#: 289063St. Petersburg, FL 33716

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